Compliance Specialist

2 weeks ago

Durban, KwaZulu-Natal, South Africa GP Consult Full time
KwaZulu Natal, Durban

  • R R 30000 Monthly Cost To Company
Compliance Specialist - La Lucia (KZN)

Key Responsibilities

Compliance Risk Management

  • Assist and support the development of Group Compliance Function and updates of compliance risk management plans;
  • Participation in the drafting and implementation of compliance frameworks, policies, manuals, and technical guidelines;
  • Assist and support the Group Compliance Function by ensuring that compliance risks are appropriately monitored and managed.

Compliance Monitoring
***- Assist in monitoring and managing Group Compliance risks through regular interaction with internal compliance teams and review of Compliance Reporting;

  • Maintaining relevant knowledge of legislation and regulation applicable to the core and ancillary business products;
  • Development, implementation and maintaining of compliance monitoring plans in relation to key legislation tailored to business processes / units, including FAIS, LTIA, STIA, TCF, COFI, CPA, NCA; FICA, POPIA (including data privacy laws concerning cybersecurity), Exchange Control Regulations or any other applicable legislation on a Group Level, reporting findings to the Senior Compliance Manager.

Compliance Advice

  • Advice in relation to regulatory compliance issues, processes, complaints and queries;
  • Conducting formal compliance reviews as the basis for advice as necessary;
  • Delivery of presentations and updates to management or stakeholders on findings of the compliance function;
  • Timely identification and up skilling in all new legislative developments/requirements impacting the group, and communicating requirements to impacted business units

Regulatory Relationships

  • Assist in maintaining relationships with regulatory bodies and assist with handling of complaints from regulators, supervisory bodies, ombuds, input into complaints received from or on behalf of consumers.

Reporting

  • Ensure that there are proper noncompliance reporting channels for staff and external parties;
  • Ensure noncompliance incident registers and trends are recorded and maintained where applicable;
  • Ensuring that compliance reporting takes place at suitable intervals to the Senior Compliance Manager.
  • Assist with submission of regulatory reports, returns, information requests, participation in research and survey questionnaires and process, feedback on specific items of a regulatory nature.

Cultivating a compliance training culture

  • Compile information relevant for business units on compliance matters;
  • Advise the relevant business unit management on latest trends within the compliance environment;
  • Arrange for or prepare presentations to relevant business units on compliance obligations or updates;
  • Provide training and training communications to create awareness and ensure accurate training record keeping.

Minimum Requirements

Education:

  • Relevant 3 year qualification consisting of Compliance / Legal. Preferably a LLB degree;
  • Relevant Compliance Management Certificate and/or certification as a Compliance Practitioner /CPrac (SA) would be an advantage.

Experience:

  • 2 to 3 year's experience in a legal/banking;
  • Strong knowledge of applicable legislations, regulatory compliance guidelines and standards within a financial services sector.

Competencies

  • Strong data analysis and report writing skills
  • Ability to work independently and be a team player
  • Excellent communication skills
  • Creative, adaptable, innovative and delivery focused
  • Selfmotivated and selfmanaged
  • Strong commercial mindset and confident
  • Interpersonal skills
  • Presentation skills
  • Strong attention to detail and accuracy
  • Project management skills
  • Tolerance for stress and deadline driven environment
  • Resilience
  • Ability to engage with senior stakeholders

For more information please contact:

  • Liesl Cloete

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